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BULLETIN #0809-M
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Ian Strulovitch

Senior Legal Counsel, Director Communications and Public Affairs

(416) 943-7425

istrulovitch@mfda.ca

BULLETIN #0809-M

January 30, 2020

Membership Information

For Distribution to Relevant Parties within your Firm

MFDA Special Report on Securities Industry Self-Regulation

The MFDA, like all securities regulators in Canada, is facing a dynamic future. It must be prepared to plan and adapt to ensure that its contribution as a public interest regulator continues to serve the objectives of investor protection, efficient capital markets and the public interest. This is of particular importance given the vital role of MFDA Members in the investment industry, with over half of Canadian households serviced by MFDA Members, and with 81% of those households being average Canadian investors with less than $100,000 in financial assets.

As part of the MFDA’s regular and ongoing strategic planning efforts it has conducted extensive research and analysis on the future role of the MFDA and SROs in Canada. This research and analysis is reflected in the MFDA Special Report, which is also intended to assist and support the CSA, MFDA Members and other relevant stakeholders in the CSA’s recently announced SRO framework review.

A copy of the MFDA Special Report is being delivered to the CSA, MFDA Members and other relevant stakeholders, and will also be made available on the MFDA website.

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